Edward W. Lucero
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward William Lucero, who also goes by Ed Lucero, Edward Lucero, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2014 - December 31, 2019
CAPITAL ANALYSTS
April 16, 2012 - December 31, 2019
LINCOLN INVESTMENT
April 16, 2012 - December 31, 2019
LINCOLN INVESTMENT
February 2, 2012 - April 13, 2012
PLANMEMBER SECURITIES CORPORATION
February 2, 2012 - April 13, 2012
PLANMEMBER SECURITIES CORPORATION
October 3, 2000 - February 3, 2012
SIGNATOR FINANCIAL SERVICES, INC.
August 29, 2000 - February 3, 2012
SIGNATOR FINANCIAL SERVICES, INC.
September 6, 1995 - August 29, 2000
INTERPACIFIC INVESTORS SERVICES, INC.
March 28, 1994 - September 8, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
